Our Staff has compiled our research into a database of FINRA Broker Disclosures for Stifel, Nicolaus & Company, Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael Wong Ark | 1260602 | 1 | 09/04/2009 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Melissa Futch | 1422380 | 2 | 08/26/2009 | Customer Dispute | Settled | $129,763.00 | $0.00 | See FINRA Report |
| Mark Fallon Kregor | 2403684 | 11 | 08/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas L Lawrence Huber | 1475881 | 4 | 08/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Thompson | 4631462 | 3 | 08/13/2009 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Keith Edwin Downard | 859799 | 2 | 08/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas David Thomson | 1492592 | 3 | 08/12/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Jay Jefferis | 709139 | 2 | 07/31/2009 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| N David Hoover | 1722534 | 4 | 07/30/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Edward Adams Ferguson | 2465791 | 2 | 07/29/2009 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |